Compliance Manager, Control Room

JR United Kingdom; Guildford; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Guildford. The ideal candidate will manage Control Room operations, ensure compliance with regulatory requirements, and support training initiatives. Excellent knowledge of compliance processes and strong analytical skills are essential for this role.

Qualifications

• Experience in compliance role, particularly in control room monitoring.
• Strong understanding of UK regulatory framework.
• Ability to manage risks and solve complex problems.

Responsibilities

• Manage and supervise Control Room tasks and deliverables.
• Control Watch, Grey, and Restricted Lists, ensuring compliance.
• Lead training for junior staff and contribute to strategic initiatives.

Skills

Analytical Skills

Problem Solving

Regulatory Framework Knowledge

Compliance Principles

Conflict Resolution

Education

Professional Qualification in Compliance

Job description

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Compliance Manager, Control Room, Guildford

Client: Lorien

Location: Guildford, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views:

3

Posted:

06.06.2025

Expiry Date:

21.07.2025

Job Description:

6 Month Contract - Inside IR35 - Investment Banking

Our industry-leading investment banking client is looking for a compliance manager on a 6-month contract, with experience working in a control room in financial services.

Core accountabilities of role:

• Assist in the general management of Control Room tasks, including supervising the deliverables and acting as an escalation point for more junior members of the team.
• Manage and control the Watch, Grey, and Restricted Lists and the identification and resolution of potential conflicts of interest.
• Support the relevant business and functions areas in implementing key control room related policies and procedures for the territory as a subject matter expert.
• Assist in ensuring BNPP meets its regulatory requirements related to disclosures to the Takeover Panel, FCA, and other regulators.
• Review and approve research reports versus the Grey/Watch and Restricted Lists to ensure potential conflict of interest is cleared.
• Identify solutions for business or compliance issues, including complex and atypical problem solving.
• Manage medium-sized projects and contribute to strategic initiatives, influencing new initiatives.
• Lead on training of junior staff.
• Make innovative recommendations to improve the monitoring plan of key activities in the Control Room.
• Identify opportunities to enhance the effectiveness of the Control Room.
• Contribute to committees by representing the UK Compliance function or CIB Compliance.
• Contribute to the delivery of training.

Knowledge, Skills, and Experience:

• Professional qualification and prior experience in a Compliance role in control room monitoring or related activity.
• Excellent knowledge of Compliance principles and processes related to Control Room activities.
• Excellent knowledge of Takeover Panel rules, including relevant disclosures under rules 8.1 and 8.5.
• Detailed knowledge of Information Barriers setup and processes.
• Thorough knowledge of Watch/Grey and Restricted list processes.
• Strong experience with Investment Research Clearance.
• Solid understanding of the UK regulatory framework and its application in banking.
• Excellent awareness of risk concepts and management.
• Strong analytical skills with the ability to translate knowledge into advice and recommendations.
• Proven ability to identify and solve complex problems, make sound decisions, and manage risks, including critical thinking and handling ambiguity.
• Ability to work independently with high autonomy.
• Organized and able to prioritize tasks under pressure and tight deadlines.